Investors reportedly complained about securities broker Michael Alexander Lackwood Jr. [CRD: 4742917, Rockaway, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Lackwood worked for Oppenheimer Co. Inc. from September 6, 2011, to July 12, 2018, and APW Capital Inc. from August 10, 2018, to April 30, 2020. Read on to discover more about the […]

Investors reportedly complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hill joined LPL Financial LLC on March 1, 2018, as both a broker and an investment adviser at its West End, North Carolina office. […]

One or more investors possibly experienced losses because of securities broker Scott Jason Hechler [CRD: 5277526, Garden City, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hechler has worked for Spartan Capital Securities LLC since May 15, 2023. Previously, he worked at SW Financial from December 10, 2019 […]

Investors might have sustained losses through securities broker John Martin Bussa [CRD: 4418922, Southfield, Michigan], according to publicly available information on FINRA BrokerCheck. Evidently, Bussa joined Osaic Wealth Inc. on January 24, 2025. He previously worked for Osaic FA Inc. from July 16, 2001, to January 24, 2025. Keep reading to learn more about the […]

Investors might have sustained losses through securities broker James Richard Sophia Jr. [CRD: 3222645, Shaker Heights, Ohio], based on disclosures on FINRA BrokerCheck. Evidently, Sophia worked for Vanderbilt Securities LLC from January 10, 2025, to March 19, 2025, and for Morgan Stanley from January 18, 2019, to January 28, 2025. Keep reading to find out […]

One or more investors possibly experienced losses because of securities broker Robert Stanley Fagan [CRD: 1572927, Leucadia, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Fagan worked for Madison Avenue Securities LLC in Encinitas, California, from July 25, 2006, to December 22, 2021, before moving to First Allied Securities […]

Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

One or more investors possibly experienced losses because of securities broker John Anthony Nole [CRD: 1609191, St. Petersburg, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nole joined Paulson Investment Company LLC on July 15, 2016. He previously worked with Paulson Investment Advisors LLC in Portland, Oregon from April […]

Investors potentially experienced sales practice violations due to securities broker Krikor Greg Demirjian [CRD: 4212275, Encino, California], according to public information found on FINRA BrokerCheck. Evidently, Demirjian worked with Western International Securities Inc. from May 27, 2008, to September 20, 2024, before registering with Vanderbilt Securities LLC on September 16, 2024, and Vanderbilt Advisory Services […]